REGENCY INVESTMENT ADVISORS INC
Adviser information for REGENCY INVESTMENT ADVISORS INC last updated from Form ADV on March 21st, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | California, United States |
Employees
| Total Number of Employees | 14 |
|---|---|
| Investment Advisory/Research | 8 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 8 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1,750 | $868.9M |
| Non-Discretionary | 2 | $8.4M |
| Total | 1,752 | $877.3M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 486 | $146.1M |
| HNW Individuals | 170 | $456.8M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 54 | $189.0M |
| Charitable organizations | 19 | $46.2M |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 16 | $39.2M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 11-25 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting servicesEducational seminars/workshops |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-44406 |
|---|---|
| SEC ERA File Number | 801-44406 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 106990 |
| Legal Entity Identifier | None |
Principal Office
1312 W HERNDON, SUITE 101FRESNO
CA
United States
Monday - Friday, 8 AM - 5 PM
Tel: 559-438-2640, Fax: 559-438-2694
Chief Compliance Officer
MARCI L DECK
CHIEF COMPLIANCE OFFICER
1312 W HERNDON, SUITE 101
FRESNO
CA
United States
Tel:
559-438-2640
Fax:
559-438-2694
M****@*****************M
(Full email address available in API data)
Regulatory Contact
EMIL J. ALI
COUNSEL
13337 SOUTH STREET
UNIT 555
CERRITOS
CA
United States
Tel:
310-596-1234
E***@************M
(Full email address available in API data)
Industry Affiliates
| APELLA WEALTH LLC | Other investment adviser, including financial plannersAccountant or accounting firm |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| RAY, PHILIP, DANIEL | Individual | – | DIRECTOR & PRESIDENT | 10/2004 | < 5% |
| DECK, MARCI, LYNNE | Individual | – | DIRECTOR/CHIEF COMPLIANCE OFFICER/CFO/SECRETARY | 10/2004 | < 5% |
| LONGATTI, ROBERT, JAMES | Individual | – | DIRECTOR | 07/2005 | < 5% |
| PRENDERGAST, MARK, LOUIS | Individual | – | DIRECTOR | 04/2010 | < 5% |
| PHILIP RAY, TRUSTEE PHILIP & KAREN RAY DECLARATION OF TRUST DATED 8/8/2012 | Domestic Entity | – | OWNER | 10/2013 | 25-50% |
| MARCI DECK, TRUSTEE TODD AND MARCI DECK REV FAMILY TRUST DATED 11/23/2010 | Domestic Entity | – | OWNER | 09/2013 | 10-25% |
| RAY, PHILIP, DANIEL | Individual | PHILIP RAY, TRUSTEE PHILIP & KAREN RAY DECLARATION OF TRUST DATED 8/8/2012 | INDIRECT OWNER | 10/2013 | |
| DECK, MARCI, LYNNE | Individual | MARCI DECK, TRUSTEE TODD AND MARCI DECK REVOCABLE FAMILY TRUST DATED 11/23/2010 | INDIRECT OWNER | 09/2013 | |
| CHRISTOPHER COMSTOCK, SPECIAL TRUSTEE OF THE CHRISTOPHER AND KATHERINE COMSTOCK REV FAMILY TRUST DTD 10/20/2009 | Domestic Entity | – | OWNER | 12/2013 | 10-25% |
| COMSTOCK, CHRISTOPHER, LOUIS | Individual | CHRISTOPHER COMSTOCK, SPECIAL TRUSTEE OF THE CHRISTOPHER AND KATHERINE COMSTOCK REV FAMILY TRUST DTD 10/20/2009 | INDIRECT OWNER | 12/2013 | |
| COMSTOCK, CHRISTOPHER, LOUIS | Individual | – | DIRECTOR / VICE PRESIDENT | 04/2014 | < 5% |
| MYERS, JUDSON, RAY | Individual | – | DIRECTOR / OWNER | 09/2015 | 10-25% |
| FAZIO, ANTHONY, DOMINIC | Individual | – | CHIEF EXECUTIVE OFFICER / DIRECTOR | 07/2020 | < 5% |
| RUSSELL S MALTES, SPECIAL TRUSTEE OF MALTES FAMILY TRUST DATED 4/13/2020 | Domestic Entity | – | OWNER | 01/2022 | 5-10% |
| WADE WALLACE, TRUSTEE OF THE WADE ALLAN WALLACE REVOCABLE TRUST DTD 5/17/2021 | Domestic Entity | – | OWNER | 01/2022 | < 5% |
| Whitt, Jeremy, J | Individual | – | OWNER | 01/2022 | < 5% |
| WOESNER, KELLY, MICHELLE | Individual | – | OWNER | 01/2022 | < 5% |